DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S••••••• G••••• S••••••••• L••

Former SEC-registered adviserCarlsbad, CaliforniaCRD 155166SEC 801-71926IAPD
Latest filing Sep 9, 2014
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$288M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$123M as of Mar 18, 2014
Mar 30, 2012$95.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 18, 2014
Jan 25, 20135 then
Employees (5.A)6 as of Mar 18, 2014
Jan 25, 20136 then
Private funds: no history
RAUM +122% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Sep 9, 2014; every figure names its basis
RAUM per advisor
$57.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$412,017derivedRAUM over accounts (5.F.2.f)
Discretionary
52%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
699reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• G••••••• J•••• · President & Chief Compliance Officercontrol
    since 10/2010 · owns less than 5%
  • E•••••• M•••• W•••••• · Chief Investment Officercontrol
    since 06/2014 · owns 25% to 50%
  • H•••• M••••••• S••• · Chief Executive Officercontrol
    since 10/2010 · owns less than 5%
  • C••••••• G••••••• J•••• · Ownercontrol
    since 10/2010 · owns 50% to 75% of S••••••• W••••• M••••••••• G••••• I•••
  • H•••• M••••••• S••• · Ownercontrol
    since 10/2010 · owns 50% to 75% of S••••••• W••••• M••••••••• G••••• I•••
Entity owners
  • S••••••• W••••• M••••••••• G••••• I••• · Managing Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 752 to 699
    Jun 24, 2014 to Sep 9, 2014
  • Business name · S••••••• W••••• M••••••••• G••••• I••• to S••••••• G••••• S••••••••• L••
    Jun 24, 2014 to Sep 9, 2014
  • Legal name · S••••••• W••••• M••••••••• G••••• I••• to S••••••• G••••• S••••••••• L••
    Jun 24, 2014 to Sep 9, 2014
  • Discretionary RAUM · $121M to $150M
    Jun 24, 2014 to Sep 9, 2014
  • Non-discretionary RAUM · $6.5M to $138M
    Jun 24, 2014 to Sep 9, 2014
  • RAUM · $128M to $288M
    Jun 24, 2014 to Sep 9, 2014
  • Succession · true to false
    Jun 24, 2014 to Sep 9, 2014
  • Organization form · Corporation to Limited Liability Company
    Jun 2, 2014 to Jun 24, 2014
  • Succession · false to true
    Jun 2, 2014 to Jun 24, 2014
  • Discretionary RAUM · $117M to $121M
    Mar 18, 2014 to May 28, 2014
  • RAUM · $123M to $128M
    Mar 18, 2014 to May 28, 2014
  • Accounts · 495 to 752
    Aug 1, 2013 to Mar 18, 2014
  • Advisory activities · 6 to 4
    Aug 1, 2013 to Mar 18, 2014
  • BD registered reps · 5 to 4
    Aug 1, 2013 to Mar 18, 2014
  • Discretionary RAUM · $103M to $117M
    Aug 1, 2013 to Mar 18, 2014
  • Non-discretionary RAUM · $13.2M to $6.5M
    Aug 1, 2013 to Mar 18, 2014
  • RAUM · $116M to $123M
    Aug 1, 2013 to Mar 18, 2014
  • Discretionary RAUM · $115M to $103M
    Jan 28, 2013 to Aug 1, 2013
  • Non-discretionary RAUM · $15.0M to $13.2M
    Jan 28, 2013 to Aug 1, 2013
  • RAUM · $130M to $116M
    Jan 28, 2013 to Aug 1, 2013
  • Accounts · 520 to 495
    Oct 9, 2012 to Jan 25, 2013
  • Advisory employees · unset to 5.0
    Oct 9, 2012 to Jan 25, 2013
  • Advisory activities · 5 to 6
    Oct 9, 2012 to Jan 25, 2013
  • BD registered reps · unset to 5.0
    Oct 9, 2012 to Jan 25, 2013
  • Commission compensation · true to false
    Oct 9, 2012 to Jan 25, 2013
  • Employees · unset to 6.0
    Oct 9, 2012 to Jan 25, 2013
  • State-registered IARs · unset to 5.0
    Oct 9, 2012 to Jan 25, 2013
  • Discretionary RAUM · $107M to $115M
    Oct 9, 2012 to Jan 25, 2013
  • Non-discretionary RAUM · $13.0M to $15.0M
    Oct 9, 2012 to Jan 25, 2013
  • RAUM · $120M to $130M
    Oct 9, 2012 to Jan 25, 2013
  • Accounts · 466 to 520
    Aug 27, 2012 to Oct 9, 2012
  • Discretionary RAUM · $84.0M to $107M
    Aug 27, 2012 to Oct 9, 2012
  • Non-discretionary RAUM · $11.0M to $13.0M
    Aug 27, 2012 to Oct 9, 2012
  • RAUM · $95.0M to $120M
    Aug 27, 2012 to Oct 9, 2012
Signals
1 dated events
  • S••••••• W••••• M••••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jun 24, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026